[vc_section full_width=”stretch_row_content” css=”.vc_custom_1638212654227{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;border-top-width: 0px !important;border-right-width: 0px !important;border-bottom-width: 0px !important;border-left-width: 0px !important;padding-top: 0px !important;padding-right: 0px !important;padding-bottom: 0px !important;padding-left: 0px !important;}”][vc_row full_width=”stretch_row_content_no_spaces”][vc_column][vc_row_inner css=”.vc_custom_1638212648792{padding-right: 0px !important;padding-left: 0px !important;}”][vc_column_inner][vc_btn title=”Arrange a No Obligation Discussion Today! Click Here!” color=”warning” size=”lg” align=”center” css_animation=”fadeInDown” css=”” button_block=”true” link=”url:https%3A%2F%2Fbit.ly%2FCCDiscovr|title:Let’s%20Work%20this%20Out%20Together!|target:_blank”]
MAKING COMPLIANCE WORK
The UK's Leading Financial Services Regulatory Compliance & FCA Authorisation Consultancy
See Why People Trust Us To Get The Job Done!
[/vc_column_text][/vc_column_inner][/vc_row_inner][vc_row_inner][vc_column_inner][/vc_column_inner][/vc_row_inner][/vc_column][vc_column][/vc_column][/vc_row][vc_row gap=”30″ equal_height=”yes” content_placement=”top” el_class=”info-container”][vc_column parallax=”content-moving” width=”1/3″ css=”.vc_custom_1753788795204{padding-top: 0px !important;}”][vc_single_image image=”33″ img_size=”60×60″][vc_custom_heading text=”FCA/PRA
Authorisations” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes”][vc_column_text css=””]
Too many regulatory compliance consultancies provide a range of stock or off the shelf services, but we are leading FCA compliance & authorisation consultants and provide bespoke services at a high standard. FCA Authorisation, Registration or Licencing and variation of permissions are often and can be a very involved process requiring you to know not only your business, but also how your business works and the risk areas it is likely to be impacted by.
[/vc_column_text][vc_btn title=”Get Help with FCA Licensing” style=”classic” shape=”square” color=”warning” size=”sm” align=”center” css=”.vc_custom_1753793812236{background-color: #ffa200 !important;}” button_block=”true” link=”url:%2Ffca-authorisations-registrations-licencing%2F” el_class=”custom-orange-button”][/vc_column][vc_column width=”1/3″][vc_single_image image=”32″ img_size=”60×60″][vc_custom_heading text=”Compliance Benchmark Audit & Projects” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes”][vc_column_text]
We assess, compare, test, evaluate and score your compliance systems and controls against best practice and the latest regulations. We check your Governance from Terms of Business to Compliance Manual, AML/KYC through to Outsourcing polices. Robust and coherent governance is fundamental to any successful, compliant and profitable financial services company. We also conduct FCA compliant regulated complaints assessment and complaint management.
[/vc_column_text][vc_btn title=”View Compliance Audit Services” style=”classic” shape=”square” color=”warning” size=”sm” align=”center” css=”.vc_custom_1753793851124{background-color: #ffa200 !important;}” button_block=”true” el_class=”custom-orange-button” link=”url:%2Fcompliance-benchmark-audit-and-report%2F”][/vc_column][vc_column width=”1/3″][vc_single_image image=”34″ img_size=”60×60″][vc_custom_heading text=”FCA Compliance
Training Courses” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes” css=””][vc_column_text]
We have an impressive array of training courses available covering a number of subjects and implementations (such as SMCR) and will amend/alter and update each course to be specific for you. These elements (including any changes) have to be recorded, monitored and stored under some new regulations. There is also the recognised need and increased benefits for face-to-face training over and above any online-refresher.
[/vc_column_text][vc_btn title=”Start Compliance Training” style=”classic” shape=”square” color=”warning” size=”sm” align=”center” css=”.vc_custom_1753793871084{background-color: #ffa200 !important;}” button_block=”true” el_class=”custom-orange-button” link=”url:%2Ftraining-in-house-or-public-for-uk-financial-services-and-other-industries%2F”][/vc_column][/vc_row][vc_row][vc_column width=”1/3″][vc_custom_heading text=”Proactive Compliance Advice” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes” css=”.vc_custom_1716475423461{margin-bottom: 10px !important;}”][vc_custom_heading text=”To Keep You Ahead In The Ever-Evolving Regulatory Landscape” font_container=”tag:h4|text_align:left|color:%23ffa200″ use_theme_fonts=”yes” css=”” el_class=”custom-tagline”][vc_column_text css=””]Staying ahead in the ever-evolving regulatory landscape is vital to maintaining compliance. Our FCA compliance consultants not only help you meet current requirements but also provide proactive advice to keep you ahead of the game. We continually monitor regulatory changes, assess their impact on your business, and guide you through the necessary adjustments to ensure ongoing compliance. By keeping you well-informed and prepared, we help you minimise disruption, save resources, and adapt swiftly to changes in FCA regulations.[/vc_column_text][/vc_column][vc_column width=”1/3″][vc_custom_heading text=”No One-Size-Fits-All Approach” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes” css=”.vc_custom_1716475435775{margin-bottom: 10px !important;}”][vc_custom_heading text=”Customised Compliance Solutions Tailored To Your Business Needs” font_container=”tag:h4|text_align:left|color:%23ffa200″ use_theme_fonts=”yes” css=”” el_class=”custom-tagline”][vc_column_text css=””]We recognise that every business is unique, with its own set of compliance challenges. That’s why we offer customised compliance solutions tailored specifically to your business needs. Our FCA compliance consultants will conduct a thorough analysis of your current compliance practices, identify gaps or areas for improvement, and develop a personalised compliance plan. By taking a targeted approach, we ensure that you meet the FCA regulations while aligning with your operational goals, making compliance a seamless and integral part of your business strategy.[/vc_column_text][/vc_column][vc_column width=”1/3″][vc_custom_heading text=”Minimise Risk & Enhance Trust” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes” css=”.vc_custom_1716475444127{margin-bottom: 10px !important;}”][vc_custom_heading text=”FCA Compliance Consultants Who Deliver Results” font_container=”tag:h4|text_align:left|color:%23ffa200″ use_theme_fonts=”yes” css=”” el_class=”custom-tagline”][vc_column_text css=””]Compliance is crucial in the financial industry to mitigate risk and foster trust with clients. Our team of leading FCA compliance consultants has a proven track record of delivering results for businesses like yours. We understand the intricacies of FCA regulations and stay current with the latest developments in the compliance landscape. By partnering with us, you can minimise the risk of penalties, reputation damage, and loss of client trust, ensuring your business thrives in the long run.[/vc_column_text][/vc_column][/vc_row][vc_row css_animation=”fadeInLeft” css=”.vc_custom_1716477227935{margin-bottom: 2rem !important;padding-top: 1rem !important;}”][vc_column][vc_custom_heading text=”Contact Us Today!” font_container=”tag:h2|text_align:center” use_theme_fonts=”yes” css=”.vc_custom_1753794910663{margin-bottom: 10px !important;}”][vc_custom_heading text=”Take The First Step Towards Compliance Excellence” font_container=”tag:h4|text_align:center|color:%23ffa200″ use_theme_fonts=”yes” css=”” el_class=”custom-tagline”][vc_column_text css=””]
Ready to take the first step towards compliance excellence? Contact us today to schedule a consultation with our FCA compliance consultants.
Whether you need help with initial compliance setup, ongoing support, or specific compliance challenges, we are here to assist you. Our team is dedicated to equipping your business with the necessary expertise, strategies, and resources to meet FCA regulations effectively. Don’t wait until non-compliance becomes a problem; act now to ensure a solid foundation for your business success.
[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column][vc_column_text css=””][userfeedback id=1][/vc_column_text][/vc_column][/vc_row][/vc_section][vc_section css=”.vc_custom_1638206137464{padding-top: 100px !important;padding-bottom: 50px !important;}”][vc_row gap=”30″ content_placement=”middle” css=”.vc_custom_1638204897760{padding-top: 0px !important;padding-bottom: 0px !important;background-color: #ffa200 !important;}”][vc_column width=”2/5″ css=”.vc_custom_1638204924579{padding-top: 0px !important;padding-bottom: 0px !important;}” offset=”vc_col-md-4″][/vc_column][vc_column width=”3/5″ css=”.vc_custom_1638204921396{margin-top: 0px !important;margin-right: 30px !important;margin-bottom: 0px !important;margin-left: 30px !important;padding-top: 30px !important;padding-bottom: 30px !important;padding-left: 0px !important;}” offset=”vc_col-md-8″][vc_custom_heading text=”ANNUAL COMPLIANCE MONITORING PLAN” font_container=”tag:h2|text_align:left|color:%23ffffff” use_theme_fonts=”yes” css=”.vc_custom_1638210969006{margin-bottom: 5px !important;}”][vc_column_text css=”.vc_custom_1638210974489{margin-bottom: 15px !important;}” el_class=”custom-white-tagline”]
If Strategy, Risk, Governance & Compliance are your goals, we can offer exceptional experience based ideas for you.
[/vc_column_text][vc_btn title=”See How Our Monitoring Works” style=”classic” shape=”square” color=”white” size=”lg” align=”left” css=”” el_class=”custom-white-button” link=”url:%2Fannual-compliance-monitoring-plan-template%2F”][/vc_column][/vc_row][/vc_section][vc_section full_width=”stretch_row” css=”.vc_custom_1638267055680{margin-top: 50px !important;margin-bottom: 50px !important;padding-top: 50px !important;padding-bottom: 50px !important;background-color: #f5f5f5 !important;}”][vc_row gap=”30″][vc_column width=”1/2″][vc_single_image image=”49″ img_size=”full”][/vc_column][vc_column width=”1/2″][vc_custom_heading text=”FREQUENTLY ASKED QUESTIONS” font_container=”tag:h2|font_size:32|text_align:left|color:%23000000″ use_theme_fonts=”yes” css=”.vc_custom_1637839029929{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;}”][vc_column_text el_class=”custom-tagline white-text”]
More about our services and how we can help you.
[/vc_column_text][vc_tta_accordion style=”modern” spacing=”5″ gap=”5″ c_position=”right” active_section=”1″ no_fill=”true” collapsible_all=”true” el_class=”custom-accordion”][vc_tta_section title=”Do you help with complaint management?” tab_id=”1637587361636-a3a6ed2d-3683″][vc_column_text]Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. If your business plan is very simple, we can help make it into a robust regulatory business plan at extra cost, but without this solid foundation you will likely fail.[/vc_column_text][/vc_tta_section][vc_tta_section title=”Regulated Complaint Management” tab_id=”1637587361653-ef45257a-f287″][vc_column_text]Yes, we work with different firms on their independent assessment of complaints, we review the file and create a response for the firm to send, with appropriate redress and, compensation if necessary. We can manage the complaints completely, or just do the review and assessment. The choice is yours.[/vc_column_text][/vc_tta_section][vc_tta_section title=”Suitability File Checks” tab_id=”1637587424551-fc10b2be-b9b7″][vc_column_text]Yes, we work with different firms on their independent assessment of files to ensure suiitability of their files. We have created and enhanced a review report that you can use in your advisers Training & Competence plan or just keep the findings for MI purposes. We provide real-life and practical suggestion for any remediation and our scoring is similar to the FCA’s, so you can understand any areas of weakness; the choice is yours.[/vc_column_text][/vc_tta_section][vc_tta_section title=”Do You Help With FCA Requirements for Cryptocurrency Registration for anti-Money Laundering?” tab_id=”1637587447774-4e72da1f-1bdc”][vc_column_text]Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. Whatever state your business plan is, and the story it tells, we can help make it into a robust ‘regulatory business plan’ as well as convert it into a regulatory story using the right words and phrases the regulator understands; without this solid foundation you will likely fail. From ATMs to brokers, we can help crypto firms get registered for Anti-Money Laundering and Counter Terrorist Financing.[/vc_column_text][/vc_tta_section][vc_tta_section title=”Do You Help With Funeral Plans Authorisation?” tab_id=”1637587467611-1728111b-5073″][vc_column_text]Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. If your business plan is very simple, we can help make it into a robust ‘regulatory business plan’ as well as convert it into a regulatory story; without this solid foundation you will likely fail.[/vc_column_text][/vc_tta_section][vc_tta_section title=”What makes you different?” tab_id=”1637587495718-d14be892-1002″][vc_column_text]We work on the simple premise of “Improving our client’s condition “, which to us means that you have to have value over and above the cost involved. Cost should never be confused with price as there is a distinct difference. Price is the amount of money involved in a transaction. Cost is the complete, long term benefits (or lack of them) plus the initial upheaval and management time involved in the implementation and execution of the project.[/vc_column_text][/vc_tta_section][vc_tta_section title=”How much do you charge?” tab_id=”1637587520703-4ae10186-6f70″][vc_column_text]We do not have a menu or tariff of charges as we operate on a bespoke and personalised service. We will assess the work involved for any project or exercise and provide a price that is fixed for the project achieving it’s outcomes. All outcomes need to be defined in advance and be measurable. If it takes us 6 weeks, or six months, we don’t ask for any additional money*. Equally, if we achieve the outcomes before you initially expect, we do not provide refunds. If your accounts department needs a per diem cost, we can assist them in understanding the benefits of a fixed price contract.[/vc_column_text][/vc_tta_section][vc_tta_section title=”How Long Have You Been A Regulatory Compliance Consultancy?” tab_id=”1637587528243-15f6826d-9940″][vc_column_text]We have been operating since the year 2000 and have helped many firms from one-man bands through to banks to start up and set up with FCA Approval, reviewed countless policies and procedures (AML, CFA, CofI, TCF etc) as well as created Governance, Risk & Compliance (GRC) Frameworks; some with major UK companies.[/vc_column_text][/vc_tta_section][/vc_tta_accordion][/vc_column][/vc_row][/vc_section][vc_section css=”.vc_custom_1637839411109{padding-top: 50px !important;padding-bottom: 50px !important;}”][vc_row][vc_column][vc_column_text css_animation=”flipInY” css=””]
[/vc_column_text][/vc_column][/vc_row][/vc_section][vc_section full_width=”stretch_row” css=”.vc_custom_1639130994065{padding-top: 50px !important;padding-bottom: 50px !important;background-color: #f5f5f5 !important;}”][vc_row gap=”30″][vc_column width=”1/2″][vc_column_text css_animation=”slideInRight” css=””]Latest Video on YouTube
[/vc_column_text][vc_video link=”https://www.youtube.com/watch?v=Gw1b43_CZvo&list=PL3D9W8cNqdCSYsY2RO1cxuViKc1oIWYi5&via=tb” css=”.vc_custom_1716562162153{padding-top: 2rem !important;}”][/vc_column][vc_column width=”1/2″][vc_custom_heading text=”Automate Your Compliance Monitoring & Risk Management” font_container=”tag:h2|font_size:32|text_align:left” use_theme_fonts=”yes” css=”.vc_custom_1716561996256{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 5px !important;margin-left: 0px !important;}”][vc_video link=”https://www.youtube.com/watch?v=YZXaWqOOSzM&feature=emb_imp_woyt” el_id=”CCTMR1Vid”][/vc_column][/vc_row][/vc_section][vc_section css=”.vc_custom_1639659031225{padding-top: 50px !important;padding-bottom: 50px !important;}”][vc_row gap=”30″ content_placement=”middle” css=”.vc_custom_1638210596913{padding-top: 15px !important;padding-right: 15px !important;padding-bottom: 15px !important;padding-left: 15px !important;background-color: #ffa200 !important;}”][vc_column width=”3/4″ el_class=”white-text”][vc_custom_heading text=”KEEP UP TO DATE” font_container=”tag:h2|font_size:32|text_align:left|color:%23ffffff” use_theme_fonts=”yes” css=”.vc_custom_1637838121989{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;}”][vc_column_text css_animation=”bounceInLeft” css=”” el_class=”custom-white-tagline”]
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We offer a range of free literature to help you make a start on your FCA compliance and provide useful insights.
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